Senior Principal Consultant

About the role

The Senior Principal Consultant will lead mock regulatory examinations and compliance program reviews for ACA’s largest and most complex clients. The role also involves drafting reports, manuals, and providing advisory services to private fund managers and registered product providers. The consultant may serve as an outsourced Chief Compliance Officer for select clients.

Key responsibilities

• Lead or assist all phases of mock regulatory examinations, including document requests, interviews, and report drafting.
• Conduct comprehensive compliance program reviews and policy/procedure assessments.
• Provide regulatory consulting, draft filings, conduct forensic testing, and answer client compliance queries.
• Manage client relationships, oversee project profitability, and coordinate with internal finance, sales, and legal teams.
• Supervise, train, and evaluate junior staff and project team members.

Required profile

• Bachelor’s degree with at least 8 years of relevant industry experience, or 6 years with examiner/attorney background at a U.S. regulator.
• Advanced knowledge of U.S. federal securities laws and related regulations (e.g., Investment Advisers Act, Securities Exchange Act).
• Executive presence and ability to interact confidently with regulators and high‑profile clients.

Required skills

• Proficiency with Microsoft Office applications.
• Experience using web‑based technology applications for compliance work.

What we offer

• Competitive base salary ($180K‑$200K) plus performance bonus.
• Medical and dental coverage, 401(k) plan, and generous paid‑time‑off options.
• Flexible remote work environment, Student Debt Forgiveness, and Pet Insurance.